Ivy Chan
陳亭希
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ivy Chan (陳亭希), a licensed Responsible Officer with CE reference AEN139. Currently licensed at 1 firm(s): Baring Asset Management (Asia) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts; Type 4 — Advising on securities; Type 5 — Advising on futures contracts; Type 9 — Asset management. Total licence records on file: 11.
More firms doing Dealing in securities →More firms doing Dealing in futures contracts →More firms doing Advising on securities →More firms doing Advising on futures contracts →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 |
RO | Type 4 — Advising on securities | 2016-01-22 | present |
| Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 |
RO | Type 5 — Advising on futures contracts | 2016-01-22 | present |
| Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 |
RO | Type 1 — Dealing in securities | 2015-09-07 | present |
| Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2015-09-07 | present |
| Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 |
Rep | Type 9 — Asset management | 2007-09-10 | present |
| Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | 2014-10-13 | 2016-01-22 |
| Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 |
Rep | Type 5 — Advising on futures contracts | 2008-12-22 | 2016-01-22 |
| Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2007-10-18 | 2015-09-07 |
| PineBridge Investments Asia Limited 柏瑞投資亞洲有限公司 |
Rep | Type 4 — Advising on securities | present | 2005-03-31 |
| PineBridge Investments Asia Limited 柏瑞投資亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2005-03-15 |
| PineBridge Investments Asia Limited 柏瑞投資亞洲有限公司 |
Rep | Type 9 — Asset management | present | 2007-09-01 |